Defendant Name:
Wei (Alex) Wei
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Delaware Asset Advisers and Wei (Alex) Wei
First Document Date
18-Jul-2012
Initial Filing Format
Administrative Action
File Number
3-14952
Allegation Type
Investment Advisers/Investment Companies
Affiliations
- Current: Senior Vice President at Delaware Asset Advisers
Related Violations Alleged
Wei (Alex) Wei is alleged to have aided and abetted
Delaware Asset Advisers's violation of Section 206(2) Investment Advisers Act.
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 6 months
First Resolution Date
18-Jul-2012
Headline Total Penalty and Disgorgement
$4,864,520
Other Defendants in Action: